Joan L. Kistler

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CRD#: 729938

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joan Lee Kistler was a registered financial professional .

Joan is a previously registered financial professional and started their career in finance in 1981. Joan had worked at 5 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 10, 2014 - March 9, 2018

LEGACY ADVISORS, LLC

RIA

CRD#: 139830

CHESTER SPRINGS, PA

Past

May 24, 2012 - November 19, 2012

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

February 4, 2008 - June 30, 2014

KISTLER-TIFFANY ADVISORS

RIA

CRD#: 145256

BERWYN, PA

Past

January 2, 2008 - May 24, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BERWYN, PA

Past

May 13, 1981 - December 31, 2007

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CHESTER SPRINGS, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEGACY ADVISORS, LLC

CRD#: 139830 / SEC#: 801-66582

RIA

Registered Investment Advisory firm - (4/11/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/2/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/11/1981

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/11/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEGACY ADVISORS, LLC

CRD#: 139830 / SEC#: 801-66582

RIA

Registered Investment Advisory firm - (4/11/2006 Approved)

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Contact information

Main Address

5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462

Mailing Address

Phone number

(610) 943-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY ADVISORS, LLC ADV BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	2,257
AUM (Assets Under Management)	$ 4,182,473,646

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/12/2025	Cover Page	Report
09/19/2024	Cover Page	Report
09/18/2024	Cover Page	Report
03/27/2024	Cover Page	Report
01/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Joan L. Kistler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APW CAPITAL, INC.

KISTLER-TIFFANY ADVISORS

CAMBRIDGE INVESTMENT RESEARCH, INC.

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

LEGACY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/1981

Series 7

Date: 4/15/1989

Series 22

Date: 9/11/1981

Series 6

Date: 5/11/1981

Current Firm

LEGACY ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEGACY ADVISORS, LLC

TRUST BUT VERIFY

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